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Neal Buckley

Axos Clearing LLC

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About Neal Buckley

Neal Buckley is a financial advisor registered with Axos Clearing LLC. Neal has been in the financial services industry since September 7, 1998 and has held registrations with several other firms including E*TRADE Securities LLC and TCADVISORS NETWORK INC.. Neal is currently registered in Colorado.

Firm Information

Neal Buckley is currently registered with Axos Clearing LLC. Axos Clearing LLC is a Limited Liability Company formed in 2004 and is approved to operate in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has one approved SEC registration and is regulated by the Securities and Exchange Commission (SEC).

Not reported

Assets Under Management

Not reported

Total Clients

133

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Neal Buckley’s Registration & Firm History

CO

08/12/2021 - Present

Axos Clearing LLC (CENTENNIAL CO)

CO

03/24/2020 - 12/31/2020

E*TRADE SECURITIES LLC (Centennial CO)

CO

02/11/2004 - 04/09/2018

TCADVISORS NETWORK INC. (CENTENNIAL CO)

CO

04/09/2002 - 09/04/2003

TCADVISORS NETWORK INC. (CENTENNIAL CO)

PA

09/01/2001 - 01/11/2002

FISERV SECURITIES, INC. (PHILADELPHIA PA)

CO

07/05/1995 - 09/01/2001

FISERV CORRESPONDENT SERVICES, INC. (DENVER CO)

NA

05/31/1994 - 06/21/1994

THE BENHAM GROUP

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Licenses & Designations

BC

Issued 03/08/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/17/2001

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 04/09/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/09/2004

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 04/09/1996

Series 7 - General Securities Representative Examination

BC

Issued 05/18/1994

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BZX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Neal Buckley.
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